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POSSIBLE FRAMEWORK FOR

A MODEL MARITIME ADMINISTRATION

By
Michael J. Hubbard (Canada), IMO Consultant
Heike Hoppe, Technical Officer, IMO

Disclaimer:

The opinions expressed in this paper are those of the authors and do not
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necessarily reflect the views of IMO or its Secretariat.

PROPOSED POLICY FRAMEWORK FOR A MARITIME ADMINISTRATION

1.1

Definition

1.1.1 Policy may be defined as a course of action to be adopted by an organization and as a selected,
planned line of conduct in the light of which individual decisions are made.
1.1.2 Recognizing that situations and circumstances are continually evolving and changing, a process
should be in place for the development and revision of policies.
1.2

Purpose

1.2.1 Policies are a guide for the consistent and uniform administration of an organization's mandate,
programs and activities.
1.2.2 Policies will define, in clear unequivocal terms, the aims and objectives of the organization and how
the organization intends to conduct its business, for the conduct of its staff and for the information of its
clients.
1.2.3 Established policies are particularly important for a Maritime Administration/Authority because of its
regulatory and enforcement functions and activities, the diversity of its clients and the international influence
on its roles and responsibilities.
1.3

Development

1.3.1 The development and promulgation of a Maritime Administration's policies will emanate from and
be consistent with a Government's overall policies with respect to the delivery of programs and services
provided by the Government.
1.3.2 Policies of a Maritime Administration will therefore reflect aims and objectives consistent with those
of the Government for transportation and the maritime sector in particular. International and national
initiatives which affect the safety of shipping and the prevention of marine pollution will influence policy
development.
1.3.3 Policies will be derived and guided primarily from the international maritime conventions, codes and
resolutions1, the United Nations Convention on the Law of the Sea, national maritime legislation and the
national industry policy.
1.3.4 The Maritime Administration needs policies covering its purpose, mandate, authorities,
appointments and in particular its duties prescribed by the national maritime legislation, as follows:
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registration of ships

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Reference is made to the Guidelines to assist flag states in the implementation of IMO instruments (IMO
resolution A.847(20)).

1.4

certification of seafarers

regulation of shipping regarding the construction and equipment of ships and navigation

inspection of ships for the purpose of maritime safety and pollution prevention

maritime training and safety standards

inquiries into shipwrecks and casualties affecting ships

inquiries as to charges of incompetence or misconduct on the part of seafarers

staff recruitment

staff training

co-operation with other agencies

levels of service

consultation

international activities.

Policy statements

The following policy statements are offered as examples of policies suitable for and applicable to a Maritime
Administration. If policies such as these are developed and put in place, they will need to be supported by
procedures for their implementation.
1.4.1 Maritime Administration
It is the policy of the Government of [flag State] that the Maritime Administration is the national agency
responsible for and dedicated to ensuring the safety of ships, the protection of life and property at sea and
the marine environment, and compliance with applicable national laws and regulations.
1.4.2 Authorities and appointments
1.4.2.1 Authorities of the Maritime Administration are derived from the national maritime legislation and the
Minister.
1.4.2.2 Activities conducted by Maritime Administration personnel shall be according to duly granted
authority.
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1.4.2.3 All compliance activities shall be conducted by personnel holding appointments appropriate to the
task being performed.
1.4.3 Roles and responsibilities
Roles and responsibilities of units within the Maritime Administration shall be clearly described and
delineated.
1.4.4 Organization
The organization of the Maritime Administration shall be structured to reflect its duties, roles and
responsibilities and to ensure that its mandate is achieved in the most effective and efficient manner.
1.4.5 Staff recruitment
Recruitment standards for personnel in the Maritime Administration shall be appropriate to their
responsibilities and discipline.
1.4.6 Staff training
Staff training is essential to the maintenance of a workforce of the highest quality with staff who have the
knowledge and skills necessary to develop and implement effectively the Administration's policies and
programs.
1.4.7 Co-operation
1.4.7.1 It is the policy of the Maritime Administration to co-operate with all other agencies, governmental or
private, in promoting the safety and security of life and property at sea and in protecting the marine
environment.
1.4.7.2 The Maritime Administration will develop partnerships and co-operative links with other agencies
that have similar and/or complementary interests.
1.4.8 Levels of service
Levels of service shall be established in order to provide a measure of performance which can serve as
guidance for the Government, client population and staff of the Administration, e.g. time frame to register a
ship; inspection of a certain percentage of ships entering its ports and responding within an established time
to requests of clients.
1.4.9 Consultation
Prior to the implementation of any new or amended policy, programme and legislative or regulatory
initiative, it is the policy of the Maritime Administration to consult fully with all interested parties including
public interest, clients and staff.
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1.4.10 Inspections
It is the policy of the Maritime Administration to conduct a program of inspections to ensure
1.4.10.1
that flag ships and foreign registered ships entering its ports comply with the requirements of all applicable
conventions, statutes and regulations with respect to ship safety and protection of the marine environment.
Complete records of all inspections will be maintained by the Administration.
The Administration is committed to ensuring that inspections and surveys are conducted in
1.4.10.2
an efficient and expeditious manner to ensure the facilitation of shipping.
Although it is the policy of the Maritime Administration to delegate certain inspection and
1.4.10.3
certification activities to classification societies, responsibility and accountability for those activities remain
with the Administration.2 Agreements with those societies authorized to act on behalf of the Administration
shall be in place.3 The Administration will monitor inspections carried out on its behalf and will retain the
right to carry out inspections itself as it deems necessary.
In order to give effect to the policy with respect to the inspection of foreign registered
1.4.10.4
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ships , the Maritime Administration will participate in co-operative agreements, including Memoranda of
Understanding, with other like-minded states.
It is a policy of the Maritime Administration to conduct an inspection program of dangerous
1.4.10.5
goods with particular emphasis on their storage and handling on board ships and their storage in ports.5
This is to ensure compliance with the safety requirements in respect of persons and property at sea and the
protection of the environment.
It is the policy of the Maritime Administration that small vessels engaged in commercial
1.4.10.6
activities, including fishing vessels, shall be inspected for minimum standards with respect to structural
integrity, equipment and operational safety appropriate for the voyages and activities engaged in. 6

2
Reference is made to the Guidelines for the authorization of organizations acting on behalf of the Administration
(IMO resolution A.739(18)) and the Specifications on the survey and certification functions of recognized organizations
acting on behalf of the Administration (IMO resolution A.789(19)).
3
Reference is made to IMO circular MSC/Circ.710 - Model agreement for the authorization of recognized
organizations acting on behalf of the Administration.
4
Reference is made to the Procedures for port State control (IMO resolution A.787(19), as amended by resolution
A.882(21)).
5
Reference is made to the International Maritime Dangerous Goods Code (IMDG Code) (IMO resolution
A.716(17), as amended).
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Reference is made to applicable regional codes and regulations (e.g. Caribbean Cargo Ship Safety (CCSS) Code;
Code of Safety for Small Commercial Vessels Operating in the Caribbean Sea (SCV Code); Safety regulations for nonconvention sized ships in the Asian region; Safety regulations for non-convention vessels operating in the Pacific region;
Model safety regulations for inland waterways vessels and non-convention craft, including fishing vessels, operating in
Africa).

1.4.11 Certification of seafarers 7


Seafarers on flag ships must hold certificates appropriate to their rank. The certificates shall
1.4.11.1
comply with the International Convention on Standards of Training, Certification and Watchkeeping for
Seafarers 1978, as amended.
In order to achieve certification, seafarers must meet training and sea service requirements
1.4.11.2
and be compelled to demonstrate a thorough knowledge by means of written and oral examinations of
syllabus items set out within the various examination levels and disciplines.
Examiners of candidates for Certification of Competency shall be fully qualified in their
1.4.11.4
respective disciplines and are to hold Certificates of Competency of equal or higher level than the certificate
for which the candidate is being examined.
Certificate examinations shall realistically reflect the skills required and the functions
1.4.11.5
performed by officers and ratings employed on flag ships and be of an international standard acceptable to
other Maritime Administrations worldwide.
1.4.12 Investigations into competence
The Maritime Administration will recommend to the responsible Government authorities the ordering of
investigations into competence, conduct and/or fitness in cases of loss of ship, loss of life, serious damage to
a ship, heavy pollution, indications of impairment and criminal offences.
1.4.13 Casualty investigations 8
The Maritime Administration will investigate marine casualties and incidents with a view to determining what
action, if any, is needed to ensure the protection of life and property at sea and the marine environment.
1.4.14 Registration
1.4.14.1
legislation.

The Maritime Administration will maintain a Register of Ships in accordance with national

1.4.14.2

The Administration will maintain a Registry of Seamen.

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Reference is made to the International Convention on Standards of Training, Certification and Watchkeeping for
Seafarers 1978, as amended.
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Reference is made to the Code for the investigation of marine casualties and incidents (IMO resolution
A.849(20), as amended by resolution A.884(21)).

1.4.15 International activities


The Maritime Administration will represent the maritime interests of the flag State at and
1.4.15.1
with international organizations and with agencies of foreign governments who have similar interests.
The Maritime Administration will co-operate with all international organizations and agencies
1.4.15.2
of foreign governments who have common interests in promoting safety and security of life and property at
sea and in protecting the marine environment.
1.4.16 International conventions
Recognizing the importance of the ratification and implementation by all flag States of relevant instruments
adopted by international bodies, it shall be the policy of the Maritime Administration to comply with the
regulations of those international conventions the flag State is party to.
1.4.17 Vision and mission statements
Policies might also include vision and mission statements. The following are offered as examples:
Vision-

Suggested - To be an effective and efficient Maritime Administration providing


professional and quality service to the marine community, the Government and the
people of [the flag State].

Mission-

Suggested - The Maritime Administration is dedicated to the safety of shipping, the


preservation of life and property at sea and the protection of the marine
environment.

PLAN OF ACTION

2.1

Introduction

2.1.1 A Maritime Administration


2.1.1.1 The United Nations Convention on the Law of the Sea (UNCLOS) provides, inter alia, that:

A flag state shall have a competent and adequate national maritime administration.

A flag state shall implement applicable rules and standards concerning, in particular, the
safety of ships and persons on board and the prevention of pollution of the marine
environment.

2.1.1.2 An objective of the flag State should therefore be the establishment of a national Maritime
Administration to fulfil flag State and port State responsibilities in an effective and efficient manner and in
conformity with international maritime standards.
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2.1.2. Flag State control


2.1.2.1 To ensure the safety of national ships, the Maritime Administration will survey ships during
construction and periodically during operation for the issuance of certificates attesting to the safe
construction, equipping and crewing of the ship. It will also inspect ships during the validity period of the
certificates if there is reason to believe that the conditions upon which the certificates were issued have
changed.9
2.1.1.2 Small vessels engaged in commercial activities, i.e. fishing vessels and vessels that carry passengers
and cargoes, are also inspected to ensure that they are safe and suitably equipped for the business engaged
in and their area of operations 10.
2.1.3 Port State control11
2.1.3.1 Foreign ships in a nation's ports are inspected to ensure that they have the relevant certificates
required under international conventions and that the condition of the ship is substantially in conformance
with the respective certificates. Ships found with defects or deficiencies may be detained in port and may
not be allowed to sail until the defects or deficiencies have been rectified. These actions are to ensure that
foreign ships do not pose a threat to the interests of the State with respect to the safety of life and property
and are not a hazard to the marine environment in the State's waters.
2.1.3.2 Inspections will be carried out by qualified officers of the Administration.
2.1.3.3 In the event that a ship has to be detained, the action must be based on a sound knowledge of all
the factors.
2.1.4. Enforcement
In order to carry out and enforce its functions of survey and inspection, a Maritime Administration will
develop and establish regulations and standards for the marine industry in the areas of marine safety and
marine environmental protection to implement provisions of national legislation and international conventions.
It will maintain a core of suitably qualified inspectors and surveyors to carry out inspections and surveys to
enforce the regulations.

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Reference is made to the Survey guidelines under the harmonized system of survey and certification (HSSC)
(IMO resolution A.746(18)) and the Guidelines on the enhanced programme of inspections during surveys of bulk carriers
and oil tankers (IMO resolution A.744(18), as amended).
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Reference is made to applicable regional codes and regulations (e.g. Caribbean Cargo Ship Safety (CCSS) Code;
Code of Safety for Small Commercial Vessels Operating in the Caribbean Sea (SCV Code); Safety regulations for nonconvention sized ships in the Asian region; Safety regulations for non-convention vessels operating in the Pacific region;
Model safety regulations for inland waterways vessels and non-convention craft, including fishing vessels, operating in
Africa).
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Reference is made to the Procedures for port State control (IMO resolution A.787(19), as amended by resolution
A.882(21)).

2.2.

Maritime Administration - Status within Government

2.2.1. Introduction
2.2.1.1 The objective of the Government of the flag State should be the establishment of a national Maritime
Administration to fulfil the responsibilities as a flag State and a port State, as applicable, in an effective and
efficient manner. To this end, comprehensive legislation for the control and regulation of merchant shipping
with respect to the registration of ships, the employment and certification of seafarers and the safety of
shipping needs to be passed, also providing for the establishment of a Maritime Administration and
prescribing the objects and functions of the Administration.
2.2.1.2 The Government needs to consider accession to and implementation of relevant international
instruments for the improvement of maritime safety and pollution prevention, the most important of which
are:
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the International Convention for the Safety of Life at Sea (SOLAS) 1974;

.2

the International Convention for the Prevention of Pollution from Ships, 1973, as modified
by the Protocol of 1978 relating thereto (MARPOL 73/78);

.3

the International Convention on Load Lines (LL) 1966; and

.4

the International Convention on Standards of Training, Certification and Watchkeeping for


Seafarers (STCW) 1978.

2.2.2 Establishing a Maritime Administration


2.2.2.1 Before establishing the Administration, consideration has to be given as to where it best fits in the
Government structure. There are various options available but it should be kept in mind that the Maritime
Administration has little opportunity to generate revenue. It is primarily a service organization, which is not
necessarily a revenue earning one, particularly during the early stages of its development.
2.2.2.2 Some of the various options available to place the Administration in the government structure are:
1.

Project unit within a Ministry

2.

Division within a Ministry

3.

Department of a Ministry

4.

Statutory Administration

5.

Executive Agency.

2.2.2.3 Option 1 and 2 - Project Unit or Division


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This would place the Administration within a Ministry, being subject to conditions of the public service with
respect to personnel matters and budgets. Both rely on appropriations. The Administration would not have
a great deal of autonomy but would have the support of the Ministry. However, the decision making
process could be expected to be slow and possibly cumbersome.
2.2.2.4 Option 3 - Department of a Ministry
A Department is an agency of a Ministry but has a degree of autonomy in that it controls its own budget
which, however, is still provided through appropriations. It has the support of the Ministry, but again, the
decision making process could be expected to be slow and possibly cumbersome.
2.2.2.5 Option 4 - Statutory Administration
A Statutory Administration , while in effect part of a Ministry and reporting to the Minister, is further
removed than a Department. It has far more autonomy and is controlled by a Board of Directors who set
policies and procedures for the Administration. It can be self-supporting or supported by the Government.
It is not limited by the Public Service conditions of employment. It loses immediate support of the Ministry,
but decision-making is facilitated.
2.2.2.6 Option 5 - Executive Agency
An Executive Agency, although part of the Government, is established as a business and is expected to
operate as such under the Corporations Act. It has no support from the Ministry and has to be selfsustaining.
2.2.3. Revenue generation
2.2.3.1 Sources of revenue are fees charged for the conduct of examinations, inspections and surveys of
ships and charges for the registration of ships. Port State control inspections cannot be charged for in the
first instance, but can if follow-up inspections are necessary for rectification of any defects of deficiencies
found on the first inspection.
2.2.3.2 It must be recognized that a newly established Administration will have to be supported by
appropriations, certainly in the short and medium term, until other sources of revenue are identified. In the
short term, the restructuring of fees for licensing, registration, inspections and the examination and
certification of seafarers to realistically reflect costs in performing these functions, would, to a degree, offset
the overall cost of the organization.
2.2.4. Structure
2.2.4.1 When considering a structure for the Maritime Administration, account has to be taken of the duties
imposed on the Administration by the Shipping Act and the support necessary to carry out those duties.
Accordingly, the roles and functions have been categorized as follows:
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(a) Safety and Certification


Safety and certification is generally responsible for the inspection and survey of ships, the hull,
machinery and equipment of ships, the handling and stowage of ship's cargoes, cargo handling gear,
the certification of ships, marine pollution prevention, wreck and salvage and the training and
certification of seafarers.
(b) Registration and Research
Registration and Research is basically responsible for the registration of ships and seafarers and the
research necessary to provide the Government with timely and reliable information for analysis and
evaluation for the formulation of policies in respect of the development of shipping.
(c) Legal Affairs
Legal Affairs is generally responsible for national maritime legislation, international maritime
conventions, the harmonization of that legislation with the conventions and regulations in the
constantly changing international scene and the legal affairs of the Administration.
(d) Support services
Support services are responsible for the day to day administration needs of the Administration,
budgets, financial and personnel matters.
2.2.4.2 Annex 1 contains a plan for a possible organizational structure by function. Annex 2 contains a
proposed organization structure. Both plans were developed during a study for the establishment of a
Maritime Administration in Jamaica.

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ANNEX 1
PROPOSED ORGANIZATION BY FUNCTION
MARITIME
AUTHORITY

PROGRAM
SUPPORT
SERVICES

LEGAL
AFFAIRS

LEGISLATION
PERSONNEL

SAFETY ENVIRONMENT
& CERTIFICATIO N

REGISTRATION
CREWING &
RESEARCH

SHIP INSPECTION &


CERTIFICATION

REGULATIONS
ADMINISTRATION

PORT STATE CONTROL


LEGAL ADVICE

FINANCE
LITIGATION

MARINE POLLUTION
PREVENTION

ACCOUNTING
RECORDS

INT ERNATIONAL
CONVENTIONS

EXAMINATION &
CERTIFICATION OF
SEAFARERS

SHIP REGISTRATION &


LICENSING
REGISTRATION OF
SEAFARERS
CREW MATTERS
WELFARE

TACKLE
MANNING
CASUALTY INVESTIGATI0N
SHIPPING
DANGEROUS GOODS
WRECK & SALVAGE

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RESEARCH ON MARITIME
ACTIVITIES

ANNEX 2
PROPOSED ORGANISATION STRUCTURE BY POST 12
PERMANENT
SECRETARY

DIRECTOR GENERAL
MARITIME AUTHORITY

EXECUTIVE ASSISTANT

DIRECTOR
PROGRAM
SUPPORT SERVICES

DIRECTOR
LEGAL AFFAIRS

DIRECTOR
SAFETY, ENVIRONMENT &
CERTIFICATION

DIRECTOR
REGISTRATION, CREWING
& RESEARCH

SURVEYOR GENERAL

REGISTRAR GENERAL

SERVICWES

LEGAL
SECRETARY

ADMIN.
ASSISTANT

SATELLITE NORTH
COAST
SURVEYOR

RESEARCH
ANALYST
AD
.

LEGAL
OFFICER

DRIVER

SENIOR
SURVEYOR
NAUTICAL
FIANANCE &
ACCOUNTING

ADMIN.
ASSISTANT

SENIOR
SURVEYOR
ENGINEERING

REGISTRAR OF SHIPS
AND
SEAMEN

PERSONNEL
& RECORDS
SMALL VESSEL
INSPECTOR

SMALL VESSEL
INSPECTOR

SYSTEMS
ADMINISTRATOR
SURVEYOR
NAUTICAL

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The above chart was prepared for Jamaica and is used here as an example.

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SURVEYOR
ENGINEERING

ASSISTANT
REGISTRAR

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